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CISI UAE Financial Rules and Regulations Sample Questions:

1. An applicant for a financial activities licence must have procedures in place to recover electronic records from the archive within what maximum period?

A) Four calendar days
B) Three business days
C) Five business days
D) Two calendar days

2. Which of the following acts is considered to constitute the crime of money laundering?

A) Transferring or moving proceeds or conducting any transaction with the aim of highlighting or opening their source to scrutiny
B) Acquiring, possessing or using proceeds from an unverified source
C) Investigating or checking on the true nature, source or location of proceeds as well as the method involving their ownership
D) Investigating internal reports where concerns of illegal activities are raised by staff

3. During a trading session, if an order is not fully executed, then:

A) the remaining unexecuted volume stays on the trading system, at the last executed price
B) the order will be dealt with at the next trading session
C) the remaining unexecuted volume is cancelled and a new order is placed, at the last executed price
D) the transaction is executed at the price set on the other side of the transaction

4. The Authority will only grant a licence to operate a crypto fundraising platform in the UAE if the applicant is a legal person in the form of:

A) an exchange licensed by the Authority in the UAE
B) a company incorporated under Shariah law
C) a sophisticated trader or a qualified investor
D) an exchange licensed by a market in the UAE

5. The whistleblowing policy submitted by an applicant for a financial activities licence must include a mechanism for:

A) protecting the reporting employee
B) ensuring all staff have a named reporting contact
C) disciplining staff proven to have breached rules
D) escalating any reports to board level

Solutions: